Table of Contents. TOP TOP BA Data Request and Specification Guidelines. Operating Procedure

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1 No Table of Contents Purpose... 2 Responsibilities Scope/Applicability Background Scope / Applicability Detail Introduction Data Specification Distribution Applicable Entity Obligations Data Format Questions and Comments Supporting Information Operationally Affected Parties References Definitions Version History Periodic Review Review Criteria Frequency Incorporation of Changes Appendix 3140A - TOP-003 TOP - BA Data Request and Specifications for Data Provision Page 1 of 11

2 No Purpose Provides a documented specification to applicable NERC functional entities of the data necessary for California ISO to perform its Balancing Authority and Transmission Operator Planning Analyses, Real-time monitoring, and Real-time Assessments. It is also data which is necessary for Pacific Gas & Electric (PGAE), Southern California Edison (SCE), San Diego Gas & Electric (SDG&E), Trans Bay Cable (TBC) and Valley Electric (VEA) to perform Transmission Operator Planning Analyses, Real-time monitoring, and Real-time Assessments for their respective areas. Responsibilities California ISO (ISO) Adjacent BAs Adjacent TOPs PA&E, SCE, SDG&E, TBC, VEA As applicable the ISO may be responsible for requirements as a NERC Registered Balancing Authority (BA), Transmission Operator (TOP), Planning Authority (PA) or Transmission Service Provider (TSP). All neighboring BAs which have formed an Adjacent BA or Interconnected Control Area Operating Agreement with the ISO and share critical data and information regarding adjacent and shared facilities refer to publicly posted list: InterconnectedControlAreaorInterconnectedBalancingA uthorityareaoperatingagreements_icaoaoribaaoa _.pdf All neighboring TOPs, which have formed interconnected operating agreements with PGAE, SCE, SDG&E, TBC or VEA, share critical data and information regarding adjacent and shared facilities. The registered TOPs under the Transmission Control Agreement (TCA) and Coordinated Functional Registration (CFR) Agreement with the ISO Pacific Gas & Electric, Southern California Edison, Trans Bay Cable, Valley Electric Association refer to publicly posted CFR agreements: Page 2 of 11

3 No AEPCO, HHWP, SVP Participating Generators Participating Transmission Owners (PTOs) Distribution Providers Load Serving Entities aspx The registered TOPs within the ISO BA footprint which are not under the TCA or the CFR Agreements Arizona Electric Power Cooperative (AEPCO), Hetch Hetchy Water and Power, Silicon Valley Power refer to WECC Functional Entity mapping. All registered GOs and/or GOPs under any type of Participating Generator agreement with the ISO, including Pseudo-ties and Dynamic Transfer resources refer to WECC Functional Entity mapping and publicly posted Master Control Area Generating Capability List - eneratingcapabilitylist.xls. All registered TOs under the Transmission Control Agreement with the ISO list posted at /Default.aspx. All registered DPs within the ISO BA and/or TOP footprint refer to WECC Functional Entity mapping. All load serving entities under a Utility Distribution Company or Metered Sub System Agreement with the ISO refer to publicly posted ISO Operating 4510A Load Shed Calculation Guideline Public Page 3 of 11

4 No Scope/Applicability 2.1 Background In order to ensure that the Transmission Operator (TOP) and Balancing Authority (BA) have data needed to fulfill their operational and planning responsibilities, TOP states that each Transmission Operator and Balancing Authority shall maintain a documented specification for the data necessary for it to perform its Operational Planning Analyses, Real-time monitoring, and Real-time Assessments. 2.2 Scope / Applicability Scope of this document is consistent with the scope of Peak RC s IRO Data Request and Specification. APPLICABILITY: Balancing Authorities, Generation Owners, Generation Operators, Load Serving Entities, Transmission Operators, Transmission Owners, Interchange Authorities, Distribution Providers. This data request applies specifically to the below listed Registered Entities that are classified in the Responsible Party column of Operating Attachment 3140A TOP-003 TOP - BA Data Request and Specification according to the following legend: AF = Applicable to Adjacent Facilities SF = Applicable to Shared Facilities DT = Applicable to Dynamic Transfer Entities NE = Applicable to Neighboring Entities WB = Applicable to Within the Balancing Authority area WT = Applicable to Within the Transmission Operator area NA = Not Applicable - if California ISO does not need this data to be submitted by another entity: Registered Entity Responsible Party Adjacent BAs: APS, BANC, BPA, CENACE, IID, AF, SF, DT*, LADWP, NEV, PACE-PACW, SRP, TID and WALC NE *Note only applicable for entities currently hosting Dynamic Transfer resources Adjacent TOPs: AEPCO, APS, BPA, CENACE, HHWP, AF, SF, NE IID, LADWP, MID, NEV, PACE-PACW, SMUD, SRP, SVP, TID, WALC and WASN Page 4 of 11

5 No Interconnected TOPs within ISO BAA: AEPCO, HHWP, WB SVP All registered TOPs under a Coordinated Functional WT Registration (CFR) Agreement with the ISO: PGAE, SCE, SDG&E, TBC and VEA All registered GOs and/or GOPs under a Participating WB, DT Generator (or similar) Agreement with the ISO or an interconnection agreement with PGAE, SCE, SDG&E or VEA All registered TOs under the Transmission Control WT Agreement with the ISO All registered DPs within the ISO BA and/or TOP WB, WT footprint All load serving entities under a Utility Distribution WB Company or Metered Sub System Agreement with the ISO This data specification documents the BA and TOP requirements (TOP R1, R2, R3, R4) which will be maintained by ISO and in accordance with the CFR Agreements between the ISO and PGAE, SCE, SDG&E, TBC and VEA (for TOP R1 and R3). TOPs, which are not a party to the CFR Agreement with the ISO, are responsible for maintaining their own TOP Data Request and Specifications document. 3. Detail 3.1 Introduction A detailed list of data and information needed by the BA or TOP is captured in Operating Attachment 3140A TOP-003 TOP - BA Data Request and Specification. The data requested includes, but is not limited to, non-bes and external network data, notification of current Protection System and Special Protection System status or degradation that impacts System reliability, real-time facility data, schedule type data, facility outage information, and electronic modeling data. The periodicity for providing data and the deadline by which the respondent is to provide the indicated Page 5 of 11

6 No data are specified in Operating Attachment 3140A TOP-003 TOP - BA Data Request and Specification. 3.2 Data Specification Distribution To meet NERC Reliability Standard TOP R3, an electronic notification shall be distributed to the applicable entities that this data request and specification is in effect and available. California ISO s primary methods for posting the data specifications are 1) posting on in the TOP-003 library and 2) posting with Operating s on Entities which subscribe to notifications via Peak RC s TOP-003 library or to Market Notices on will receive electronic notifications of any future revisions to this data request and specification. 3.3 Applicable Entity Obligations Each applicable entity shall satisfy the obligations of the documented specifications in accordance with (TOP-003-3, R5, 5.1, 5.2, 5.3) by using: A mutually agreeable format. A mutually agreeable process for resolving data conflicts. A mutually agreeable security protocol. 3.4 Data Format Each applicable entity that is required to provide data to California ISO, PGAE, SCE, SDG&E, TBC and/ or VEA shall appoint at least one contact who is responsible for working with TOP implementation items in order to provide the requested data in the specified format. If applicable, contacts for each section are preferred. Please maintain TOP contacts on The specified formats and security protocols below have been previously recognized as mutually agreeable. The appointed contact person shall notify California ISO via the procedurecontrol@caiso.com of any instances where the specified formats or security protocols are not agreeable to the entity. California ISO will collaborate with the entities and involved PTOs (PGAE, SCE, SDG&E, TBC and/or VEA) to resolve data conflicts in a mutually agreed upon manner that ensures System reliability. The formats for the data to be delivered are as follows: Inter Control Center Protocol Data (ICCP): Real time Analog and Status point data as detailed in Operating Attachment 3140A TOP-003 TOP - BA Data Request and Specification. Page 6 of 11

7 No The data provider must include data quality along with the data. This data quality shall follow the ICCP Data Quality Standards as described in the IEC ICCP User s Guide ( ). If real-time ICCP data transfer is unavailable for any reason, the responsible entity will provide critical real-time system data via phone to the TOP or BA s real-time desk. Data or data points that are considered critical may change based on current system conditions. It is expected that the RC and Responsible Parties will communicate and coordinate on which data is needed at a particular time as well as a periodicity for providing updates until the normal data communication methods are back in place. California ISO s and/or applicable PTO s (PGAE, SCE, SDG&E, TBC and/or VEA) technical staff will work with each entity s technical staff on ICCP implementation. The ISO currently retrieves Real-Time Balancing Authority calculated data from neighboring entities via ICCP from the EHV Data Pool. Outage Coordination Process: COS is the primary mechanism that the California ISO uses to submit outages to Peak RC. Adjacent BAs and TOPs shall continue to submit outages to Peak RC and communicate outages via to California ISO s Operations Planning Engineers. Scheduled and unscheduled outages for the ISO s Participating Transmission Owners and Participating Generators shall continue to be submitted in accordance with the California ISO s technical specifications located at: fault.aspx, which are consistent with the ISO s Business Practice Manual (BPM) for Outage Management posted at: age%20management, and are implemented according to the ISO s 3200 series Operating s posted at: ault.aspx Contacts are contained in the distribution restricted ISO Operating 3210F CAISO Outage Coordination Contact Information that is shared with the RC and NERC registered adjacent and interconnected BAs and TOPs. Page 7 of 11

8 No California ISO s technical staff will work with each entity s technical staff on WSDL, XSD, and XML implementation. Topology Update Process for the West-wide System Model (WSM): The ISO retrieves WSM data from neighboring entities via the WSM update process. The ISO evaluates the nature of the changes implemented in these areas as represented in the PEAK Reliability model and selectively updates the ISO Full Network Model as needed. Entities within the ISO Balancing Authority and Transmission Operator areas must submit model updates per the instructions in Operating Attachment 3140A TOP-003 TOP - BA Data Request and Specification. Note: EIM market participants are an exception. EIM entities submit the CIMXML export of their entire model to the ISO along with description of incremental model changes implemented in that model. ISO processes implement the incremental changes in the ISO representation of the EIM entity s model. Adjacent BAs and TOPs shall continue to submit WSM topology updates through the RC Model Update Process. Model updates for the ISO s Participating Transmission Owners and Participating Generators shall continue to be submitted to ptomodelupdaterequest.@caiso.com for transmission projects and genmodelupdaterequest@caiso.com for generation projects in accordance with the ISO s Business Practice Manual (BPM) for Managing the Full Network Model.: %20Network%20Model. These addresses direct information to both the ISO and the RC model update processes. California ISO needs full and complete data and information well in advance of the time that the Market Participant expects its new or modified facilities to connect to or disconnect from the grid. See the current Full Network Model Schedule posted on the public website at: ing/default.aspx. ISO s Transmission Registry Business user documentation is located at the following link: Page 8 of 11

9 No CB3BA36-B21A-47E6-BAA9-BF76090A087E. Other Data Formats: Other data formats and submittal processes include, but are not limited to, the use of , use of the EHV data pool, upload to Peak s secure website RMT messages and phone calls to California ISO Operators. Operating Attachment 3140A TOP-003 TOP - BA Data Request and Specification - contains the specific data California ISO and/or applicable PTO s (PGAE, SCE, SDG&E, TBC and/or VEA) requires from each Responsible Party and contains columns which denote the: Request Number Used for document coordination and communication purposes. Responsible Party Applicable entity or entities responsible for ensuring their data is being provided to California ISO. Data Request Effective Date Date by which specified data is to begin being provided to California ISO. Data Source Type Transmission, Generation, Operations, etc. Data Item Specific data being requested. Data Transfer Method Method by which data is provided to California ISO. Data Update Frequency Periodicity for providing the specified data. Notes Additional clarifying information 3.5 Questions and Comments California ISO and the Participating Transmission Owners under the CFR Agreement with the ISO currently receive the data necessary to perform their reliability functions. This request formalizes the documentation that these parties will utilize in the future to request and receive data. California ISO and the applicable PTOs will work with each entity to address questions, requests for clarification or to address issues related to the technical nature of the data. Refer to CAISO s TOP-003 contacts maintained on PeakRC.org. All other data specification inquiries should be sent to California ISO at operationscompliance@caiso.com, legal and compliance inquiries can be sent to compliance@caiso.com. Page 9 of 11

10 No Supporting Information Operationally Affected Parties AEPCO, APS, BANC, BPA, CENACE, HHWP, IID, LADWP, MID, NEV, PACE-PACW, PGAE, Peak RC, SCE, SDG&E, SMUD, SRP, SVP, TBC, TID, VEA, WALC, and WASN; Public References Resources studied in the development of this procedure and that may have an effect upon some steps taken herein include but are not limited to: CAISO Tariff NERC Standards TOP Transmission Control Agreement (TCA) Coordinated Functional Registration (CFR) Matrix Agreements/Default.aspx CFR Agreements Definitions Unless the context otherwise indicates, any word or expression defined in the Master Definitions Supplement to the CAISO Tariff shall have that meaning when capitalized in this Operating. The following additional terms are capitalized in this Operating when used as defined below:. Page 10 of 11

11 No Version History Version Change Date 1.0 Original BA/TOP Data Request 1/1/ Updated data request to be consistent with Peak RC DR /1/17 effective 4/1/2017. Added new item 1.14; collapsed items which are only applicable to the ISO in sections 3.6.2, 3.6.3, 3.6.7; clarified requirements throughout the document. 2.0 Split OP 3140 table content into spreadsheet format; Verified consistency with Peak RC s DR v13.1 effective 12/8/17. Refer to yellow highlighted changes throughout document Added AEPCO as an Operationally Affected Party 12/31/17 5. Periodic Review Review Criteria Will be reviewed based on current Peak RC Data Request requirements. Will provide to PTOs for review and comment in advance of changes being implemented. Otherwise there are no additional specific review criteria identified for this procedure, follow instructions in s 5510 and Frequency Review as recommended in s 5510 and Incorporation of Changes There are no specific criteria for changing this document, follow instructions in s 5510 and Appendix 3140A - TOP-003 TOP - BA Data Request and Specifications for Data Provision Page 11 of 11